The focus of civil enforcement appears to be finishing up older cases that have yet to be resolved.  Last week, as in many others, the cases presented are largely previously filed actions that have been in litigation for a period…

<p>Offering frauds may be one of the most prevelant schemes at the center of Commission enforcement actions. As we have noted in this space, they are repeatedly brought and unfortunately investors are repeatedly taken-in by them. The only thing that…

<p>There seems to be little doubt that the current administration in Washington is impacting the SEC as well as many other government offices and agencies. While in theory the Commission is an independent regulatory agency, the recent testimony of its…

This Week In Securities Litigation (Week of June 9, 2025) The Commission filed two new cases last week. In addition, Chair Atkins testified before the Senate Appropriations Subcommittee on Financial Services and General Government. One of the points in his…

<p>Investment advisers registered with either the Commission or a state agency have a special relation with their clients. This is illustrated by the fact that under the federal securities laws they have not just a close relation but more –…

Mission: Chair Atkins began by declaring that “it is a new day at the SEC . . .” (emphasis original). That new day will focus on what he identified as the agency mission: 1) protecting investors; 2) capital formation and…

The Commission continued to dismiss previously filed enforcement action by stipulation with those involved last week. As with the early dismissals, no explanation was offered beyond the factually unsupported claim that the agency believes the resolution is appropriate. The sole…